Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Andrew Cackley | 2659346 | 1 | 06/27/2007 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Joseph Gerald Offerman | 1748188 | 2 | 06/27/2007 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Frederick James Rickey | 1143497 | 1 | 05/30/2007 | Customer Dispute | Settled | $7,198.90 | $0.00 | See FINRA Report |
| Robert Edward Carney | 2192045 | 1 | 04/27/2007 | Customer Dispute | Settled | $33,391.60 | $0.00 | See FINRA Report |
| Alexander Taylor Strange | 1591323 | 7 | 03/28/2007 | Customer Dispute | Settled | $5,308.00 | $0.00 | See FINRA Report |
| Matthew Joseph Kelly | 4288692 | 2 | 02/07/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martha Mary Caldwell | 4811945 | 3 | 11/22/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Wilson Cornell | 1884609 | 8 | 10/24/2006 | Customer Dispute | Settled | $5,800.00 | $0.00 | See FINRA Report |
| Robert H Eckert | 1440685 | 2 | 09/21/2006 | Customer Dispute | Settled | $16,435.00 | $0.00 | See FINRA Report |
| Frank Jerome Grossman | 1669231 | 3 | 08/09/2006 | Customer Dispute | Settled | $5,959.19 | $0.00 | See FINRA Report |